Appropriation of funds: Guilty verdict

The respondent used the same scheme with a dozen clients to divert the funds and appropriate them for himself.

LIFE INSURANCE | August 17 2022 10:36AM
Investment firms’ association comments on single self-regulator

Responding to the Canadian Securities Administrators’ request for comment, association calls for consultation, reasonabl…

INVESTMENT | June 29 2022 10:59AM
Investment funds industry association weighs in on single regulator

Response to regulators says 45-day consultation period insufficient for providing comments on several important issues, …

INVESTMENT | June 28 2022 10:50AM
Incorporation of mutual fund advisors not part of new SRO’s agenda

Quebec regulator, the AMF, clarified the transition to the new framework.

INVESTMENT | May 31 2022 10:22AM
CSA proposes board members, publishes applications for recognition of new SRO

Regulators publish list of proposed board members, along with proposed bylaws, rules, fees, governance structures and it…

INVESTMENT | May 16 2022 09:04AM
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Timeline announced for creation of new self-regulatory organization

The Canadian Securities Administrators has established a timeline for the creation of a new SRO, consolidating the MFDA …

INVESTMENT | November 19 2021 10:30AM
New Chair at the Chambre de la sécurité financière

Alain C. Roy succeeds Gino-Sébastian Savard as Board Chair of the Chambre de la sécurité financière.

LIFE INSURANCE | May 31 2021 03:00PM